APPLIED

NONLINEAR
CONTROL

Jean-Jacques E Slotine
WeipingLi
Applied
Nonlinear
Control

JEAN-JACQUES E. SLOTlNE
Massachusetts Institute of Technology

WEIPING LI
Massachusetts Institute of Technologv

Prentice Hall
Englewood Cliffs, New Jersey 07632
Library of Congress Cataloging·in·Publication Data
Siotine, I.-I. E. (Jean-Jacques E.)
Applied nonlinear control/Jean-Jacques E. Siotine, Weiping Li
p. em.
Includes bibliographical references.
ISBN 0-13-040890-5
1, Nonlinear control theory. I. Li, Weiping. II. Title.
QA402.35.S56 1991 90-33365
629.8'312-dc20 CIP

Editorial/production supervision and

interior design: JENNIFER WENZEL
Cover design: KAREN STEPHENS
Manufacturing Buyer: LORI BULW[N

© 1991 by Prentice-Hall, Inc.

A Division of Simon & Schuster
Englewood Cliffs, New Jersey 07632

All rights reserved. No part of this book may be

reproduced, in any form or by any means,
without permission in writing from the publisher.

Printed in the United States of America

20 19 18 17 16 15

ISBN 0-13-040890-5

Prentice-Hall International (UK) Limited, London

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Contents

Preface xi

1. Introduction 1

1.1 Why Nonlinear Control? 1

1.2 Nonlinear System Behavior 4
1.3 An Overview of the Book 12
1.4 Notes and References 13

Part I: Nonlinear Systems Analysis 14

Introduction to Part I 14

2. Phase Plane Analysis 17

2.1 Concepts of Phase Plane Analysis 18

2.1.1 Phase Portraits 18
2.1.2 Singular Points 20
2.1.3 Symmetly in Phase Plane Portraits 22
2.2 Constructing Phase Portraits 23
2.3 Determining Time from Phase Portraits 29
2.4 Phase Plane Analysis of Linear Systems 30
2.5 Phase Plane Analysis of Nonlinear Systems 32
2.6 Existence of Limit Cycles 36
2.7 Summary 38
2.8 Notes and References 38
2.9 Exercises 38

vii
viii

3. Fundamentals of Lyapunov Theory 40

3.1 Nonlinear Systems and Equilibrium Points 41

3.2 Concepts of Stability 47
3.3 Linearization and Local Stability 53
3.4 Lyapunov's Direct Method 57
3.4.1 Positive Definite Functions and Lyapunov Functions 58
3.4.2 Equilibrium Point Theorems 61
3.4.3 Invariant Set Theorems 68
3.5 System Analysis Based on Lyapunov's Direct Method 76
3.5.1 Lyapunov Analysis of Linear Time-Invariant Systems 77
3.5.2 Krasovskii's Method 83
3.5.3 The Variable Gradient Method 86
3.5.4 Physically Motivated Lyapunov Functions 88
3.5.5 Pelformance Analysis 91
3.6 Control Design Based on Lyapunov's Direct Method 94
3.7 Summary 95
3.8 Notes and References 96
3.9 Exercises 97

4. Advanced Stability Theory 100

4.1 Concepts of Stability for Non-Autonomous Systems 101

4.2 Lyapunov Analysis of Non-Autonomous Systems 105
4.2.1 Lyapullov'S Direct Methodfor Non-Autonomous Systems lOS
4.2.2 Lyapullov Analysis ofLinear Time- Varying Systems 114
4.2.3 * The Linearization Methodfor Non-Autono~ousSystems ]]6
4.3 * Instability Theorems 117
4.4 * Existence of Lyapunov Functions 120
4.5 Lyapunov-Like Analysis Using Barbalat's Lemma 122
4.5.1 Asymptotic Properties of Functions and Their Derivatives 122
4.5.2 Barbalat's Lemma 123
4.6 Positive Linear Systems 126
4.6.1 PR and SPR Transfer Functions 126
4.6.2 The Kalman-Yakubovich Lemma 130
4.6.3 Positive Real Transfer Matrices 131
4.7 The Passivity Formalism 132
4.7.1 Block Combinations 132
4.7.2 Passivity in Linear Systems 137
 ix

4.8 * Absolute Stability 142

40
4.9 * Establishing Boundedness of Signals 147
41 4.10 * Existence and Unicity of Solutions 151
47 4.11 Summary 153
53 4.12 Notes and References 153
57 4.13 Exercises 154
.~

5. Describing Function Analysis 157

76
5.1 Describing Function Fundamentals 158
5.1.1 An Example ofDescribing Function Analysis 158
5.1.2 Applications Domain 162
5.1.3 Basic Assumptions 164
5.1.4 Basic Definitions 165
94 5.1.5 Computing Describing Functions 167
95 5.2 Common Nonlinearities In Control Systems 169
96 5.3 Describing Functions of Common Nonlinearities 172
97 5.4 Describing Function Analysis of Nonlinear Systems 179
5.4.1 The Nyquist Criterion and Its Extension 180
5.4.2 Existence ofLimit Cycles 182
100 5.4.3 Stability ofLimit Cycles 184
5.4.4 Reliability of Describing Function Analysis 186
5.5 Summary 187
101
5.6 Notes and References 188
105
5.7 Exercises 188
105
l-t
116
117
Part II: Nonlinear Control Systems Design 191
Introduction to Part II 191
120
122
122 6. Feedback Linearization 207
126
6.1 Intuitive Concepts 208
6.1.1 Feedback Linearization And The Canonical Form 208
6.1.2 Input-State Linearization 213
6.1.3 Input-Output Linearization 216
132
6.2 Mathematical Tools 229
6.3 Input-State Linearization of SISO Systems 236
x
6.4 Input-Output Linearization of SISO Systems 246
6.5 * Multi-Input Systems 266
6.6 Summary 270
6.7 Notes and References 271
6.8 Exercises 271

7. Sliding Control 276

7.1 Sliding Surfaces 277

7.1.1 A Notational Simplification 278
7.1.2 * Filippo v,s Construction of the Equivalent Dynamics 283
7.1.3 Pe/fect Peiformance - At a Price 285
7.1.4 Direct 1mplementations ofSwitching Control Laws 289
7.2 Continuous Approximations of Switching Control Laws 290
7.3 The Modeling/Perfonnance Trade-Offs 301
7.4 * Multi-Input Systems 303
7.5 Summary 306
7.6 Notes and References 307
7.7 Exercises 307

8. Adaptive Control 311

8.1 Basic Concepts in Adaptive Control 312

8.1.1 Why Adaptive Control? 312
8.1.2 What 1s Adaptive Control? 315
8.1.3 How To Design Adaptive Controllers? 323
8.2 Adaptive Control of First-Order Systems 326
8.3 Adaptive Control of Linear Systems With Full State Feedback 335
8.4 Adaptive Control of Linear Systems With Output Feedback 339
8.4.1 Linear Systems With Relative Degree One 340
8.4.2 Linear Systems With Higher Relative Degree 346
8.5 Adaptive Control of Nonlinear Systems 350
8.6 Robustness of Adaptive Control Systems 353
8.7 * On-Line Parameter Estimation 358
8.7.1 Linear Parametrization Model 359
8.7.2 Prediction-Error-Based Estimation Methods 364
8.7.3 The Gradient Estimator 364
8.7.4 The Standard Least-Squares Estimator 370
 xi
246 8.7.5 Least-Squares With Exponential Forgetting 374
266 8.7.6 Bounded-Gain Forgetting 376
8.7.7 Concluding Remarks and Implementation Issues 381
270
8.8 Composite Adaptation 382
271
8.9 Summary 388
271
8.10 Notes and References 389
8.11 Exercises 389
276

277
9. Control of Multi-Input Physical Systems 392

283 9.1 Robotics as a Prototype 393

9.1.1 Position Control 394
'9 9.1.2 Trajectory Control 397
290 9.2 Adaptive Robot Trajectory Control 403
301 9.2.1 The Basic Algorithm 404
9.2 .2 * Composite Adaptive Trajectory Control 411
303
9.3 Putting Physics in Control 416
306
9.3.1 High-Frequency Unmodeled Dynamics 416
307 9.3.2 Conservative and Dissipative Dynamics 418
307 9.3.3 Robotics as a Metaphor 419
9.4 Spacecraft Control 422
9.4.1 The Spacecraft Model 422
311 9.4.2 Attitude Control 425
9.5 Summary 432
312 9.6 Notes and References 433
9.7 Exercises 433

326 BIBLIOGRAPHY 437

335 INDEX 459
339

350
353
358